Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Tolou Capital Management, LLC CRD: 309773 | - | 0 | 1 | - | Unknown |
| Tolsma Investments, LLC CRD: 287941 | - | 0 | 1 | - | Unknown |
| Toluca Pacific Securities Corp. CRD: 13875 | - | 0 | 0 | A | INACTIVE |
| TOM & Harry Advisers LLC CRD: 300697 | - | 0 | 0 | - | Unknown |
| TOM C. Nelson, PHD, CFP(R) Personal Financial Cons… CRD: 145832 | - | 0 | 1 | - | Unknown |
| TOM Church Securities, Inc. CRD: 16052 | - | 0 | 0 | A | INACTIVE |
| TOM Johnson Investment Management, LLC CRD: 104511 | - | 0 | 4 | - | Unknown |
| TOM Pemberton DBA Pemberton Financial Planning CRD: 143006 | - | 0 | 0 | - | Unknown |
| TOM Varga Advisory Firm, Inc. CRD: 158907 | - | 0 | 0 | - | Unknown |
| Tomac Securities, Inc. CRD: 31427 | - | 0 | 0 | A | INACTIVE |
| Tomales BAY Capital CRD: 298932 | - | 0 | 1 | - | Unknown |
| Tomas a. Blanno and Company, LLC CRD: 144595 | - | 0 | 2 | - | Unknown |
| Tomasetti Investment Group, LLC CRD: 136442 | - | 0 | 2 | - | Unknown |
| Tomassi Financial Planning, LLC CRD: 166577 | - | 0 | 1 | - | Unknown |
| Tomasulo, Robert, Sole Proprietor CRD: 128708 | - | 0 | 0 | A | INACTIVE |
| Tomchaney Investment Services, Inc. CRD: 139152 | - | 0 | 1 | - | Unknown |
| Tomex Inc. CRD: 35868 | - | 0 | 0 | A | INACTIVE |
| Tomkiewicz Wealth Management CRD: 336571 | - | 0 | 1 | - | Unknown |
| Tomlin Financial Advisors, Inc. CRD: 143375 | - | 0 | 1 | - | Unknown |
| Tomlin Securities, Inc. CRD: 20636 | - | 0 | 0 | A | INACTIVE |
| Tommy N Sausley, RIA CRD: 145501 | - | 0 | 0 | - | Unknown |
| Tomoro CRD: 340227 | - | 0 | 1 | - | Unknown |
| Tomorrow Wealth, LLC CRD: 290451 | - | 0 | 0 | - | Unknown |
| Tompkins & Co. CRD: 157240 | - | 0 | 1 | - | Unknown |
| Toms Capital Investment Management LP CRD: 291362 | - | 0 | 1 | - | Unknown |
| TON POH Capital CRD: 288214 | - | 0 | 0 | - | Unknown |
| Tondryk Wealth Management, LLC CRD: 169741 | - | 0 | 0 | - | Unknown |
| Tone Capital, LLC CRD: 285622 | - | 0 | 1 | - | Unknown |
| Tone Financial Advisors, LLC CRD: 139873 | - | 0 | 1 | - | Unknown |
| Toner Asset Management Group, Inc. CRD: 120640 | - | 0 | 2 | - | Unknown |
| Tong Fang Capital Management LLC CRD: 340380 | - | 0 | 1 | - | Unknown |
| Tong Yang Securities (America), Inc. CRD: 30701 | - | 0 | 0 | A | INACTIVE |
| Tonge Investments CRD: 119651 | - | 0 | 1 | - | Unknown |
| Tongore Management CRD: 287893 | - | 0 | 0 | - | Unknown |
| Toni L. Ladnier, CPA LLC CRD: 293900 | - | 0 | 1 | - | Unknown |
| Tonic Ventures Management Company, LLC CRD: 331513 | - | 0 | 1 | - | Unknown |
| Tonjes Financial Group CRD: 338154 | - | 0 | 1 | - | Unknown |
| Tonka Capital Partners, LLC CRD: 298336 | - | 0 | 1 | - | Unknown |
| Tonkovich, Matthew L. CRD: 111951 | - | 0 | 0 | - | Unknown |
| Tonn Financial Planning CRD: 328588 | - | 0 | 1 | - | Unknown |
| Tontine Asset Management, LLC CRD: 157239 | - | 0 | 0 | - | Unknown |
| Tontine Investment Group, LLC CRD: 155457 | - | 0 | 0 | A | INACTIVE |
| Tony Chrampanis & Co., L.L.C. CRD: 133254 | - | 0 | 1 | - | Unknown |
| Tony Pondel, Certified Financial Planner, P.C. CRD: 125673 | - | 0 | 0 | - | Unknown |
| Tony Walker Financial CRD: 145457 | - | 0 | 4 | - | Unknown |
| Toole Financial CRD: 333200 | - | 0 | 1 | - | Unknown |
| Toomey Investment Management, Inc CRD: 127346 | - | 0 | 1 | - | Unknown |
| Toona Tree Capital Limited CRD: 289826 | - | 0 | 0 | - | Unknown |
| Toona Tree Capital PTE. Ltd. CRD: 323681 | - | 0 | 0 | - | Unknown |
| Tooth & Coin Wealth CRD: 317202 | - | 0 | 1 | - | Unknown |